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The regional BD failed to properly document its own investigations in the matter, and couldn't answer some SEC questions about who knew what and when, the regulator says.

Clients aged 35 have to set aside 11.69% of their pay to keep up with those in their 20s socking away only 6% of their salary, based on calculations by Financial Engines.

National Financial Services accused the brokers' former IBD of breach of contract in a case displaying the complexities of such moves.

The broker also purportedly neglected to disclose an outside real estate business to BBVA, FINRA said.

Sometimes, crunching the numbers shows surprising results. Here’s how advisors can evaluate the tradeoffs of relocating to regions with lower taxes.

Combating these misconceptions may help taxpayers maximize benefits.

Retiring at a time when the market is down is the biggest risk that investors will face. Here’s how to minimize the impact of a market slowdown.

Despite leaving the Broker Protocol, UBS continues to selectively recruit high-end teams.

Wirehouses have been losing talent as advisors seek more freedom in how they structure their practices.

The e-commerce giant is muscling its way into a number of services that banks have long dominated.